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The Howey Test and Investment Contracts

…non-traditional investments are a security. So for instance, in a later case, the court found that sale of shares in a housing cooperative that were bundled with the cost of…

SEC Section 16 Filings

…continuing changes on Form 4 within two business days following such change. Transactions required to be reported on Form 4 include acquisitions and disposition of securities including the purchases and…

SEC Response Letter

…of Corporation Finance, referred to as “CorpFin” reviews and comments upon filings made to the SEC for the purpose of improving and enhancing disclosure. As previously touched upon the comment…

506(b) and 506(c) Offerings

…Markets Improvement Act (NSMIA). As will all offerings that federally pre-empt state law, the states are still allowed to require a notice filing and payment of a fee and the…

How to IPO on the OTCQX

…also has specific listing criteria and rules for banks. OTC Markets also has the discretionary authority to allow quotation to substantially capitalized acquisition entities that are analogous to SPAC’s….

Regulation S-K Concept Release

…CEO and CFO must personally certify the content of the reports filed with the SEC and the procedures established by the issuer to report disclosures and prepare financial statements….

OTCQX Requirements, Rules, and Standards

…6, 2016 OTC Markets collaborated with Morningstar, an independent research and equity ratings firm, to provide research and ratings on all OTCQX companies. The research reports are available on a…

NASDAQ Listing Requirements Share Price

…and qualitative requirements. The quantitative listing thresholds for initial listing are generally higher than for continued listing, thus helping to ensure that companies have reached a sufficient level of maturity…

NYSE MKT Listing Requirements

…the current NYSE MKT. The NASDAQ and NYSE MKT are ultimately business operations vying for attention and competing to attract the best publicly traded companies and investor following. Although there…

Howey Test

…cases to include any form of consideration with value; The second factor is “In a common enterprise” –The majority of federal courts define a common enterprise as having “horizontal commonality,”…